• Branch Manager Training
  • Branch Auditor Training
  • Regulatory Exam Preparation

Remember The Big Picture


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Mile High Compliance Workshops    
Held each year in Denver Colorado, the workshop is designed to be a hands on experience with timely topics discussed by an experienced faculty.  The three day conference is an excellent networking opportunity.  With the workshop format, participants are able to learn from their peers, gain insight into new processes and get questions to pressing issues.
Branch Manager Training    
Training new branch managers should be an inter gold part of each broker-dealers compliance program. We can provide
a complete program for use at your annual conference or as an ongoing part of your firm element training plan. 
Branch Auditor Training    

Assisting Firms with the training of compliance personnel is a continuous service we offer.  Training compliance auditors is a task very familiar to our personnel.  With thousands of audits completed for broker-dealer clients, we have the knowledge and experience to prepare your auditors for the job of examining a branch office.  Call for more details.

Regulatory Exam Preparation    
The ever changing examination landscape for regulators is a constant challenge for broker-dealers and investment advisors.  Our personnel are experienced with regulatory exams and can provide assistance to broker-dealers to help train their compliance personnel on what to expect from the regulators during normal cycle exams as well as for cause and sweep exams.  Call for more details.